Job Description
Join our dynamic team as a Compliance Officer in Phoenix, AZ! We're urgently seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our organization. This is a rare opportunity to make an immediate impact in a growing compliance landscape. Enjoy competitive benefits, career advancement, and the chance to work with industry leaders. Apply today and become part of our commitment to excellence!
Responsibilities
- Monitor regulatory changes and implement updated compliance protocols
- Conduct internal audits and risk assessments for financial operations
- Develop training programs for staff on compliance policies
- Investigate and resolve compliance violations with corrective actions
- Prepare comprehensive compliance reports for executive leadership
- Collaborate with legal and finance departments on regulatory filings
- Ensure adherence to FINRA, SEC, and Arizona state regulations
Qualifications
- Bachelor's degree in Finance, Law, or related field required
- 5+ years of compliance experience in financial services
- Active CCEP or CRCM certification preferred
- Advanced knowledge of federal/state banking regulations
- Exceptional analytical and problem-solving skills
- Strong written communication abilities for policy documentation
- Experience with compliance management software (e.g., MetricStream)
- Ability to thrive in fast-paced, deadline-driven environments